Statement of Changes in Beneficial Ownership (4)
10 Dezember 2021 - 11:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Couturier Christophe |
2. Issuer Name and Ticker or Trading Symbol
Avantor, Inc.
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AVTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, AMEA |
(Last)
(First)
(Middle)
RADNOR CORPORATE CENTER, BUILDING ONE,, SUITE 200, 100 MATSONFORD ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/8/2021 |
(Street)
RADNOR, PA 19087
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/8/2021 | | M | | 5828 | A | $17.67 | 116325 (1) | D | |
Common Stock | 12/8/2021 | | S(2) | | 5828 | D | $40 (3) | 110497 | D | |
Common Stock | 12/9/2021 | | M | | 7859 | A | $17.67 | 118356 | D | |
Common Stock | 12/9/2021 | | S(2) | | 7859 | D | $40.24 (4) | 110497 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options (Right to Buy) | $17.67 | 12/8/2021 | | M | | | 5828 | (5) | 2/21/2028 | Common Stock | 5828.0 | $0 | 48917 | D | |
Stock Options (Right to Buy) | $17.67 | 12/9/2021 | | M | | | 7859 | (5) | 2/21/2028 | Common Stock | 7859.0 | $0 | 41058 | D | |
Explanation of Responses: |
(1) | Includes 420 shares acquired under the Avantor Employee Stock Purchase Plan. |
(2) | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person herein. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $40.00 to $40.01, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth above. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $40.05 to $40.42, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth above. |
(5) | Reflects an initial grant of 54,745 stock options that vest in four equal installments beginning on February 21, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Couturier Christophe RADNOR CORPORATE CENTER, BUILDING ONE, SUITE 200, 100 MATSONFORD ROAD RADNOR, PA 19087 |
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| EVP, AMEA |
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Signatures
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/s/ Scott Baker, as Attorney-in-Fact | | 12/10/2021 |
**Signature of Reporting Person | Date |
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